Richard Kosai is a CFP-designated registered investment advisor at LPL Financial LLC, based in Irvine, CA, with 38 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
One Park Plaza # 600, Irvine, CA, 92614
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Richard uses Richard S. Kosai CFP Inc. as a business entity for tax/investment purposes, dedicating minimal time. He also works as a tennis coach at Northwood High School, spending about a quarter of his time on this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Painewebber IncorporatedBroker
Lehman Brothers INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
R.B. Marich, INC.Broker
State Registrations17 states
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